Regulatory Complaints Analyst

£30,000 | Telford | Permanent
Posted 22 days ago

Regulatory Complaints Analyst
£24k - £30k

Job Purpose:
To conduct a fair, consistent and prompt investigation of all sales complaints, including those referred to FOS, according to the company's agreed complaint handling standards.
Ensuring the fair treatment of customers is central to the decision making process and the customer's complaint journey is interactive. To assist in identifying and reporting emerging trends through root cause analysis from complaints received. Review the potential for wider spread customer detriment, and deploy the agreed risk based business review process.
- In line with competency level, investigate complex and non-complex sales complaints adhering to the company's complaints handling procedures, ensuring a full, fair and robust investigation is conducted and evidenced on file and through use of the complaint database system 'Respond'.
- Ensure a positive relationship with the customer and where possible communicate with the customer over the telephone to data gather and deliver the complaint decision.
- Ensure the customer is kept informed of the progress of their case, in a clear, timely and accurate manner. Liaise effectively with all appropriate reference points as required by the demands of each individual case.
- Taking into account the evidence gathered regulatory rules, current/best practices, company and FOS guidance, to make informed decisions to reach a fair conclusion of the individual case.
- Recommend and authorise complaint redress, within agreed authorisation limits and seek appropriate review and sign off where necessary.
- Ensure a positive relationship and effective liaison with all Ombudsman and professional bodies is maintained by prompt communication and information sharing, fostering a culture of respect and fairness.
- Assist in identifying trends in complaints received and product issues ensuring any emerging risks or concerns are appropriately escalated, fully investigated, reported and any customer impact evaluated and resolved.
- Conduct agent business reviews as required, ensuring assessments are made in order to demonstrate any risk has been fully investigated, any customer impact evaluated and with poor customer outcomes addressed fairly and promptly.
- Assist in the efficient integration of the complaint handling functions of acquired businesses.
- Maintain appropriate record keeping in accordance with Regulatory and business requirements.
- Plan, control, monitor and record work to professional standards.
- Be able to explain problems and resolutions in a well-structured manner using plain English.
- Complete peer checking of applicable complaint decisions.

Skills and Experience:
- 2 to 3 years' experience of working within a financial services sales complaint handling function.
- Ideally qualified in the CII Certificate in Financial Planning (CFP) Qualification (or equivalent).
- Ideally educated to 'A' level standard recognised equivalent.
- Demonstrates good telephone and communication skills.
- Proven analytical and investigative skills.
- Good inter-personal, organisational and time management skills.
- Solid skills in report writing and use of all Microsoft office products.
- Proven ability to adapt to change and have a flexible attitude at work.
- Desirable: Working knowledge of the Respond complaints system.
- Ideally educated to 'A' level standard recognised equivalent.
- Good knowledge of Financial Services products.
- Detailed knowledge of FCA complaint handling environment and legislation.
- Preferably attained or studying toward the CII Certificate in Financial Planning (CFP) Qualification (or equivalent).
- Desirable: Knowledge of requirements for salesforce structure and controls.

InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.

For more information about this role, please contact:

Vashanta McKenzie
0161 237 0065

See Vashanta McKenzie's jobs
Related Jobs

Group Company Secretary - Corporate Governance

£80,000 | London | Permanent

Group Company Secretary - Corporate Governance Permanent London £ Competitive IQ Talent Solutions are delighted to be working with one of our key asset management clients supporting with the recruitment of a Group Compnay...


£24,000 | Sevenoaks | Permanent

Underwriter Sevenoaks, Kent Permanent £24,000 - £27,000 DOE IQ Talent Solutions are proud to be recruiting for Underwriter to join one of our key clients based in Kent. Due to exceptional success you will...

Complaints Handler

£20,000 | Sevenoaks | Permanent

Complaints Handler Sevenoaks Circa £22,000 InterQuest Solutions are delighted to be working with one of our key clients in the Sevenoaks area supporting them with the recruitment of a Complaints Handler The role is...